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Kevin Matthew James

October Effect Ltd.

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About Kevin Matthew James

Kevin James is an investment advisor representative at October Effect Ltd. Kevin has been in the industry since March 2006. Prior to joining October Effect, Kevin was affiliated with Lincoln Financial Advisors Corporation. Kevin has a broad range of experience in the industry and is committed to providing sound investment advice. Kevin James holds the Series 66, Series 7, and SIE licenses.

Firm Information

Kevin James is currently registered with October Effect Ltd.. October Effect Ltd. is a financial planning and investment management firm with over 91 million dollars in assets under management. They serve both individuals and high-net-worth clients, and provide a variety of services including financial planning, pension consulting, portfolio management for individuals, and selection of other advisers.

$91.40M

Assets Under Management

1

Total Clients

4

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

Referral fees

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Kevin James’s Registration & Firm History

VA

03/08/2023 - Present

October Effect Ltd. (VIRGINIA BEACH VA)

VA

07/08/2011 - 02/13/2023

LINCOLN FINANCIAL ADVISORS CORPORATION (VIRGINIA BEACH VA)

VA

03/07/2006 - 10/13/2009

CAPITAL BROKERAGE CORPORATION (RICHMOND VA)

VA

07/29/2004 - 01/10/2006

SCOTT & STRINGFELLOW, INC. (RICHMOND VA)

MN

10/23/2003 - 01/07/2004

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

10/23/2003 - 01/07/2004

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 01/19/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/22/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kevin Matthew James.
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